Experience Inc. Jobs

Capital Markets Advisory and Control Room

Closing date for applications: 17/11/2024

Stamford,United States

Permanent

Full Time

#R-00244245

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Our people work differently depending on their jobs and needs. From hybrid working to flexible hours , we have plenty of options that help our people to thrive.

This role is based in the United States and as such all normal working days must be carried out in the United States.

Job description

This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business.

Join us as a Control Room Officer

• In this role, you’ll identify and manage transactional and employee conflicts of interest and establish and monitor the effectiveness of the bank’s information barriers

• You’ll maintain the marketing, watch and global restricted lists, as well as advising on the appropriate policies and procedures to identify and manage conflicts

• This is an opportunity to develop effective and sustainable working relationships across the business and with peers to support the sharing of best practice and addressing of common issues

What you'll do

As a Control Room Officer, you’ll manage the wall crossing process and the confidentiality registers, as well as reviewing and assessing the aligned business processes and providing conduct advice through a focus on customer outcomes.

We’ll look to you to improve business processes to encourage positive customer outcomes, higher standards and risk reduction, along with encouraging an environment of knowledge sharing, experience and support.

On top of this, you’ll be:

• Providing expert support and advice to the business on the management of risks and providing guidance on regulatory policy and conduct risk, liaising with more experienced team members when required

• Analysing the full product lifecycle from product design to post-sales review, business initiatives, bespoke projects, transactions and investigations, escalating the most complex problems to senior colleagues

• Acting as a subject matter expert and building and maintaining strong relationships with the aligned business, providing timely and high quality regulatory advice

• Supporting a consistent and effective approach to conduct and regulatory risk assessment with a focus on positive customer outcomes

The skills you'll need

In this fast-paced environment, you’ll need the ability to demonstrate an appreciation for positive customer outcomes and to be able to clearly articulate regulatory requirements. You’ll also benefit from an analytical and enquiring mindset, with the ability to develop a range of options and present these in a compelling way at the appropriate level for stakeholders.

You’ll also bring:

• Good planning and organisational skills with the ability to prioritise effectively

• The ability to champion change and to influence the activities of peers

• Knowledge of the relevant regulations and conduct policies

• An understanding of how regulatory, political, reputational and environmental issues impact the business

• Knowledge of the regulatory environment, divisional frameworks and conduct risk management principles

The expected base annual salary range for this position is $80,000 - $85,000 at the start ofemployment. Thisis not a guarantee of compensation. The exact compensation is determined on an individualized basis and may vary based on skills, experience, training licensure, certifications and location. In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement.

It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, sex, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws. Equal Opportunity Employer -Disabled/Veteran – review "EEO Is The Law", “EEO is the law- Supplement” & “Pay Transparency Provision” posters here (https://www.dol.gov/ofccp/regs/compliance/posters/ofccpost.htm) .